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Aaron David Allen

Apex Clearing Corp.

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About Aaron David Allen

Aaron David Allen is a financial professional with over 14 years of experience in the financial services industry. Aaron is currently registered with Apex Clearing Corp. in Dallas, Texas. Previously, Aaron has held positions with firms such as Purshe Kaplan Sterling Investments, Avantax Investment Services, Inc., 1st Global Capital Corp., Chase Investment Services Corp., OneAmerica Securities, Inc., and AXA Advisors, LLC. Aaron holds Series 63, 66, 7, 24, and SIE licenses.

Firm Information

Aaron Allen is currently registered with Apex Clearing Corp.. Apex Clearing Corp. is a corporation formed in December 1978. The firm is registered in 53 states and the District of Columbia and has 1 approved SEC registration. Apex Clearing Corp. has been subject to 47 regulatory events and 8 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

126

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Aaron Allen’s Registration & Firm History

TX

09/10/2021 - Present

Apex Clearing Corp. (DALLAS TX)

TX

04/23/2021 - 08/20/2021

PURSHE KAPLAN STERLING INVESTMENTS (Frisco TX)

TX

10/25/2019 - 04/20/2021

AVANTAX INVESTMENT SERVICES, INC. (DALLAS TX)

TX

05/18/2011 - 10/25/2019

1ST GLOBAL CAPITAL CORP. (DALLAS TX)

TX

09/08/2010 - 05/05/2011

CHASE INVESTMENT SERVICES CORP. (ARLINGTON TX)

MI

10/01/2009 - 06/16/2010

ONEAMERICA SECURITIES, INC. (ROYAL OAK MI)

MI

08/13/2008 - 09/15/2009

AXA ADVISORS, LLC (TROY MI)

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Licenses & Designations

BOTH

Issued 04/15/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/20/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/15/2019

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/05/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Aaron David Allen.
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